Norman M. Rischard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Norman Malcolm Rischard, who also goes by Norman Malcom Rischard, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1992. Norman had worked at 7 firms and has passed the Series 63, Series 7, Series 55, Series 31, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2012 - December 4, 2013
BRIGHT TRADING, LLC
October 22, 2003 - December 3, 2003
TAFFERER TRADING, LLC
May 16, 2000 - February 8, 2002
ELECTRONIC TRADING GROUP, LLC
November 10, 1998 - May 11, 2000
MORGAN STANLEY DW INC.
June 5, 1997 - November 17, 1998
CHARLES SCHWAB & CO., INC.
February 12, 1996 - May 28, 1997
ELECTRONIC TRADING GROUP, LLC
April 20, 1992 - June 23, 1992
IDS LIFE INSURANCE COMPANY
April 20, 1992 - June 23, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 6/30/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 3/31/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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